
Laurin Blumenthal Kleiman
Articles
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Aug 10, 2023 |
lexology.com | W. Hardy Callcott |Jay G. Baris |James Brigagliano |Benson R. Cohen |Ranah Esmaili |Nathan J. Greene | +3 more
On July 26, 2023, the U.S. Securities and Exchange Commission (SEC or Commission) proposed new rules for broker-dealers (Proposed Rule 15(1)-2) and investment advisers (Proposed Rule 211(h)(2)-4) on the use of predictive data analytics (PDA) and PDA-like technologies in any interactions with investors.1 However, as discussed below, the scope of a “covered technology” subject to the rules is much broader than what most observers would consider to constitute predictive data analytics.
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Aug 8, 2023 |
lexology.com | W. Hardy Callcott |Jay G. Baris |James Brigagliano |Benson R. Cohen |Ranah Esmaili |Nathan J. Greene | +2 more
On July 26, 2023, the U.S. Securities and Exchange Commission (SEC or Commission) proposed new rules for broker-dealers (Proposed Rule 15(1)-2) and investment advisers (Proposed Rule 211(h)(2)-4) on the use of predictive data analytics (PDA) and PDA-like technologies in any interactions with investors.1 However, as discussed below, the scope of a “covered technology” subject to the rules is much broader than what most observers would consider to constitute predictive data analytics.
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May 25, 2023 |
lexology.com | Chuck Daly |Ranah Esmaili |Laurin Blumenthal Kleiman |Victoria A. Anglin
On May 3, 2023, the U.S. Securities and Exchange Commission (SEC) voted to adopt amendments to Form PF (Amendments), the confidential reporting form filed by certain SEC-registered investment advisers to private funds. The Amendments significantly expand the reporting obligations of affected advisers, including new requirements to report the occurrence of certain triggering events in a truncated timeframe.
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